Investors might have sustained losses due to securities broker Todd Ray Anderson [CRD: 1896352, Tucson, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Todd Anderson worked for Benchmark Investments LLC from September 17, 2019, to May 15, 2023, and Cetera Advisors LLC from March 21, 2014, to October 4, 2019. Keep […]

Investors might have sustained losses due to securities broker Richard Ray Miller (also known as Rick Miller) [CRD: 2529324, Shelton, Connecticut], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Richard Miller joined Ameriprise Financial Services LLC on September 21, 1994. Continue reading to learn more about Richard Miller's disclosures and the allegations […]

Investors might have sustained losses because of securities broker Lara Charltre [CRD: 5107119, Anchorage, Alaska], according to disclosures on FINRA BrokerCheck. Evidently, Lara Shogren worked for CUSO Financial Services LP from September 20, 2023, to the present, and previously with Key Investment Services LLC from October 14, 2015, to September 6, 2023. Continue reading to […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker David Bruce McMillen [CRD: 1198070, Boulder, Colorado], given the disclosures on FINRA BrokerCheck. Evidently, McMillen joined Crown Capital Securities LP on January 2, 2003. During his employment, clients filed complaints about his sales practices. Continue reading to uncover […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Al Stephen Lovelace [CRD: 2393766, Rutherfordton, North Carolina], given the disclosures on FINRA BrokerCheck. Evidently, Lovelace has worked for Equitable Advisors LLC since December 27, 2016, and worked previously at AXA Advisors LLC from October 2, 2008, to […]

Soreide Law Group is investigating possible investor claims on behalf of those who incurred losses through securities broker Steven Christopher Lovell (also known as Steven Lovell) [CRD: 5975704, Dublin, Ohio], Evidently, Steven Lovell worked for Morgan Stanley from September 2, 2022, to the present, and previously for Key Investment Services LLC from June 14, 2012, […]

Investors may have experienced damages due to securities broker Paul Joseph Mauro [CRD: 824304, Bolton, Massachusetts], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Mauro previously worked for Mosaic Wealth Inc. in Bolton, MA, from September 1, 2023, to January 19, 2024, and for SagePoint Financial Inc. in Westborough, MA, from […]

FINRA BrokerCheck shows that Rod Ferruso [CRD: 1457661, Morgantown, West Virginia] is the subject of scrutiny due to various investor disputes and regulatory actions during his time with Royal Alliance Associates Inc. in Morgantown, WV (2018 - 2022) and previously with Signator Investors Inc. Summaries of these disclosures are provided below. FINRA Sanctions Against Rod […]

Securities broker William King (also known as Bill King) [CRD: 1432593, Vero Beach, Florida] has come under scrutiny for multiple investor disputes during his tenure at Merrill Lynch Pierce Fenner Smith Inc. in Vero Beach, FL, from November 19, 1985, to May 4, 2023. This article provides a detailed overview of the disclosures related to […]